| Advisor Profile |
|
 |
| Research This Advisor |
|
| Request More Information |
|
|
|
|
|
|
Business Description |
The goal of my company is to help you build a portfolio that performs better than the one you have now. Some people need a tune-up while some need a complete overhaul. Either way, I recommend broad diversification over the greatest number of asset types available.
Your portfolio should be unique to you. This structure tends to evolve with age, so it should be reviewed regularly, especially in today’s volatile, unpredictable market.
Which questions come up most often? First, people want to know if they have enough. Second, most investors want to know if they are utilizing all of the tools available to them. Let me go to work for you and we’ll find out.
Securities offered through First Independent Financial Services, Inc., advisory services through First Independent Advisory Services, Inc. 7134 S. Yale Av, Ste 560, Tulsa, OK 74136 (918) 492-9484 Member FINRA |
|
| |
|
|
General Information |
|
|
|
|
|
|
| Name of Broker/Dealer: |
First Independent Financial Services, Inc.
|
|
| States Licensed in: |
AZ OK KS VA MD TX
|
|
| States Willing to do Business in: |
Any
|
|
| Years of Experience in Financial Services: |
20+
|
|
| Number of Years with Current Firm: |
8
|
|
| Work Experience: |
I began my career in the mortgage business. I had an interest in securities, and became a bond broker in 1988. After that, I became a full-service broker, catering to retail investors.
|
|
| I work with the following types of clients: |
Businesses, Investment Clubs, Individual Investors, Non-Profit Organizations
|
|
| |
|
Education |
| Academic Background |
| |
| MBA Finance - University of Colorado |
|
| |
|
Services |
| Investment Types: |
Alternative Investments, Mutual Funds, Annuities, Stocks, Exchange Traded Funds (ETFs), managed futures, Bonds
|
|
| |
|
Qualifications & Memberships |
| Securities Licenses: |
Series 31, Series 65, Series 7
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| |
|
Compliance |
| Registered Representative: |
Yes
|
|
| Investment Advisor Representative: |
Yes
|
|
| Compliance Disclosures in Last 5 years: |
I have a clean record
|
|
| Criminal Disclosures in Last 5 years: |
I have a clean record
|
|
| |
|
Compensation & Fees |
| I am a fee-based financial professional: |
Yes
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$20,000
|
|
| Compensation Methods: |
Based on Assets, Commissions
|
|
| Fee % Based on Assets: |
varies
|
|
| Minimum Fee Charged for Managed Accounts: |
.50%
|
|
| |
|
| |
| |
| Prepared By: |
Forrest Merill |
| Most Recent Update: |
10/31/2008 |
Frequently Asked Questions |
|
|
|
